Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Roberts is a registered investment advisor. Stephen has over 15 years of experience in the financial services industry. Stephen is currently registered with Alps Distributors, Inc. and Alps Portfolio Solutions Distributor, Inc. Stephen's previous experience includes Northern Lights Distributors, LLC, Ultimus Fund Distributors, LLC, Matrix 360 Distributors, LLC, Cambridge Investment Research, Inc., Wells Fargo Advisors, LLC, Labrunerie Financial Services, Inc., VSR Financial Services, Inc., A.G. Edwards & Sons, Inc. and U.S. Bancorp Investments, Inc. Stephen is licensed in Missouri.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CO
05/27/2022 - Present
Alps Distributors, Inc. (DENVER CO)
NE
02/01/2022 - 05/23/2022
NORTHERN LIGHTS DISTRIBUTORS, LLC (ELKHORN NE)
OH
02/01/2022 - 05/23/2022
ULTIMUS FUND DISTRIBUTORS, LLC (CINCINNATI OH)
KS
03/28/2017 - 01/21/2022
MATRIX 360 DISTRIBUTORS, LLC (FAIRWAY KS)
IA
01/19/2015 - 02/24/2015
CAMBRIDGE INVESTMENT RESEARCH, INC. (FAIRFIELD IA)
KS
07/14/2014 - 10/20/2014
WELLS FARGO ADVISORS, LLC (OVERLAND PARK KS)
MO
04/11/2014 - 04/30/2014
LABRUNERIE FINANCIAL SERVICES, INC. (COLUMBIA MO)
KS
02/09/2005 - 12/31/2013
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
MO
03/04/2004 - 01/24/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
MN
02/04/2003 - 02/19/2004
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
BC
Issued 02/11/2018
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 05/02/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 10/05/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/03/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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